Last Updated: Tuesday, May 13, 2008 9:18 AM

Policy-Related Memos

Policy Memos by Subject Area

• NEPA Delegation
• Environmental Documents
• Mitigation/Environmental Commitments
• Quality Control/Quality Assurance
• Environmental Considerations in Project Delivery
• Biological Issues
• Historic Resources and Community Issues
• Noise Issues
• Hazardous Waste Issues
• Stormwater Issues
• Performance Measures
• Legislation
• CTC

NEPA Delegation

• Timing of Final Design in Relation to NEPA Approval, Richard D. Land, (January 18, 2008). This memo specifies that for projects where Caltrans is the implementing agency and federal funds or approvals may be needed, final design, property acquisition (with the exception of hardship and protective buying), or project construction may not proceed prior to PA&ED.
• Procedures for Determining Legal Sufficiency of Environmental Documents under the NEPA Pilot Program, Bruce A. Behrens, (October 15, 2007). This memo describes procedures for Caltrans attorneys in conducting legal review and making legal sufficiency determinations for EISs and Section 4(f) evaluations under the Pilot Program.
• Categorical Exclusions for Section 6004 and Section 6005 Assignment of Responsibilities , Jay Norvell, (July 3, 2007) This memo provides detailed guidance on how to process categorical exclusions under both SAFETEA-LU Section 6004 and Section 6005.
• Assignment of Responsibilities under the Surface Transportation Project Delivery Pilot Program , Jay Norvell, (July 2, 2007). Pursuant to Section 6005 of the Safe, Accountable, Flexible, Efficient Transportation Act (SAFETEA-LU), this memo announces the Federal Highway Administration's (FHWA) assignment of the United States Department of Transportation (USDOT) Secretary's responsibilities under the National Environmental Policy Act (NEPA) to the California Department of Transportation (Caltrans).
• Review Procedures for Environmental Impact Statements (EIS) and Environmental Assessments (EA) under the NEPA Delegation Pilot Program, Jay Norvell, (July 2, 2007). This memo and its Attachment details the 5-step review process required for all EIS and Complex EA prepared under the NEPA Delegation Pilot Program.
• Environmental Document Quality Control Program under the NEPA Pilot Program , Jay Norvell, (July 2, 2007). This memo describes the expansion of the California Department of Transportation (Caltrans) Environmental Document Quality Control Program to meet the responsibilities of the NEPA Delegation Pilot Program.
• NEPA Delegation Interim Policy-Assignment of Responsibility for Categorical Exclusion Determinations, Jay Norvell, (June 7, 2007). On June 7, 2007, the FHWA and the Department entered into an MOU with responsibilities for certain categorical exclusions. The Department has issued a new memo discussing the provisions of the Section 6004 MOU Interim Categorical Exemption/6004 Categorical Exclusion (CE/6004) Determination Form , and the new Interim Categorical Exclusion Checklist.

Environmental Documents

• Cumulative Impact and Growth-Related, Indirect Impact Analyses Guidance , Kelly C Dunlap (October 9, 2007) The Guidance for Preparers of Cumulative Impact Analysis helps preparers conduct cumulative impact analysis in support of the National Environmental Policy Act (NEPA), the California Environmental Quality Act and other related environmental laws/regulations.
• Joint Guidance FHWA/Caltrans NEPA Consultation/Reevaluation Guidance , Jay Norvell, (June 21, 2007). This memo discusses the joint guidance of the Federal Highway Administration (FHWA) and the California Department of Transportation (Caltrans) on Caltrans NEPA Consultation and Reevaluation Guidance.
• Title VI Policy Statement , Will Kempton (January 14, 2005). This memo reinstates the Department's policy on discrimination issues.
• Department is the CEQA Lead Agency for Projects on State Highway System , Gary R. Winters (June 24, 2004). It draws the attention to the current and long-standing policy that the Department is the CEQA lead agency for improvements projects on the State Highway System. In limited cases, and only when it is in the best interests of the State, the Department may delegate CEQA lead agency status to a local agency. The attachments to this memo sets forth the Department's policy regarding CEQA lead agency status for projects with local participation and provides guidance and considerations to assist districts in determining CEQA lead agency status on local participation projects.
• Submittal of Environmental Impact Reports and Technical Studies to the State Clearinghouse on Compact Discs , Denise O' Connor (May 21, 2004). It recaps the requirement set forth from the California Environmental Quality Act guidelines that all State agencies submit copies of the Environmental Impact Report (EIRs) and Negative Declarations (NDs) to the Governor's Office of Planning and Research (OPR), State Clearinghouse (SCH) for distribution to the other State agencies involved for intergovernmental review.
• Availability of Annotated IS/EA Format , Gary R. Winters (November 13, 2003). This memo announces the release of the Annotated IS/EA Format template . Click here for an instruction sheet for the Annotated IS-EA Outline.
• Division of Environmental Analysis (DEA) Review Timeframes for Technical Documents , Gary R. Winters (July 3, 2003). This memo establishes the timeframes for the DEA staff to review technical studies and compliance reports when certain conditions are met.
• Availability of Standard Formats for IS/EAs and EIR/EISs , Gary R. Winters (January 30, 2003). Standard formats for IS/EAs and EIR/EISs are to be used for newly prepared environmental documents for Department projects. Standard formats are available here .
• Revised EIS/EIR Outline , (December 3, 2001). Revisions to Purpose and Need and Alternatives; condensation of Affected Environment and Environmental Consequences. (133 KB)
• Required Accessibility Statement's for Publications , Gary R. Winters (August 21, 2001). Required statements for publications to provide access to alternative formats by individuals with sensory disabilities. (54 KB)
• Field Office Workload Reduction - Farmland Protection Policy Act , Thomas Weber (Natural Resource Conservation Service), (April 30, 1999). Suspends the requirement for NRCS field offices to make determinations on farmland that is committed to development through local actions. NRCS will defer to local zoning and other commitments (funds, plans , etc.) for development and not determine whether such lands are "farmlands" under the FPPA. The assumption will be that these lands are not farmland as defined by the Act. This ruling has the potential to eliminate the time normally required to coordinate with NRCS on lands in or committed to urban development. (27 KB)
• PUC General Order 131-D , R.W. Giess (December 13, 1995) (166 KB). Relocations of power lines and /or substations operating at 50 KV and above must be reviewed under CEQA at both the project planning phase and at the relocation plan approval stage so as to qualify for an exception in compliance with section IX.B of the General Order.

Mitigation/Environmental Commitments

• Advanced Mitigation Planning Project - The Next Step of Gathering, Sharing, and Disseminating District Information and Ideas , Jay Norvell (January 20, 2006). The Department has contracted with the UC Davis, Information Center for the Environment (ICE) to facilitate mitigation needs assessments and develop new methods to improve the ability to do long-range planning for mitigation needs. This memo summarizes the project components; which include, Long-range Mitigation Plans and Analysis, A Mitigation Project Study, and Updating and adding records to the existing Caltrans BioMitigation database.
• Environmental Commitments Record , Rick Land (June 10, 2005). This memo requires each District to create and maintain an Environmental Commitments Record. Actually, all Districts are already supposed to have some project record of environmental commitments, but this memo clarifies what we all should be doing. Note that neither a specific form nor due date has been dictated, but an expectation as to standards has been made. Examples of Mitigation Monitoring and Reporting Record (MMRR) and Permits, Agreements, and Mitigation (PAM) forms are available for download.
• Rescission of Mitigation and Compliance Cost Estimate (MCCE) Report form , Jay Norvell, Mark Leja, Karla Sutliff (April 20, 2005). This memo rescinds the requirement to report project mitigation and compliance costs on the Mitigation and Compliance Cost Estimate (MCCE) form. The Division of Environmental Analysis will be developing an efficient approach for gathering statewide, program level information on mitigation costs as part of the ongoing development of other management tools.
• Guidelines for Funding Pre-Project Capital Costs, Including Mitigation , Brice D. Paris and Gary R. Winters (June 30, 2003). This memo establishes a new process that will allow eligible mitigation-related Right of Way (R/W) capital expenses to be approved, prior to completion of Project Approval (PA) and the Environmental Document (ED).
• HQ-DEA Review of Biological and Cultural Mitigation Costs Greater than $500,000 , Gary R. Winters (January 25, 2005). This memo is a follow up on the November 10, 2004 memo regarding the advisory HQ DEA review and comment on mitigation commitments anticipated to reach $500,000.
• HQ-DEA Review of Biological and Cultural Mitigation Costs Greater than $500,000 , Gary R. Winters (November 10, 2004). This memo establishes an advisory review process for proposed high cost mitigation/monitoring. Commitments and agreements the Department makes with regulatory/resource agencies can be tracked to facilitate compliance and assessment of statewide trends

Quality Control/Quality Assurance

• Written Certification of Environmental Document Quality Control Reviews , Gary R. Winters (January 13, 2003). The attached certification sheet is to be used to document performance of quality control reviews of all documents prepared in accordance with the California Environmental Quality Act and the National Environmental Policy Act. An Adobe Acrobat version of the certification sheet is available from the Forms & Templates page.
• District Environmental Document Quality Control Plans (EDQCP) , Gary R. Winters, (July 11, 2002). This memo provides additional guidance to the EDQCP instructions detailed in the November 29, 2001 memo .
• Integration and Coordination of "Brokered" Environmental Work , Gary R. Winters, February 21, 2002. (41 KB)
• Environmental Document Quality Control Program Memo , Gary R. Winters (November 29, 2001). (239 KB)

Environmental Considerations in Project Delivery

• "Blanket" Categorical Exclusion for approval of design exceptions , Jay Norvell (March 3, 2008). DEA has issued a new “blanket” NEPA Categorical Exclusion for the approval of design exceptions. FHWA determined that approval of design exceptions on the National Highway System is an administrative action that triggers NEPA compliance, even in the absence of federal-aid funding. This CE is used for the approval of design exceptions for projects on the National Highway System that were not otherwise subject to NEPA.
• Environmental Certification Memo , Gary R. Winters (June 21, 2004). It announces the new Office Engineer guidelines that require an Environmental Certification. The Environmental Certification was developed to ensure that environmental commitments are properly incorporated into PS&E, construction contracts, and activities on the ground. DEA has a developed a PS&E Ready to List Review Tool to assist in completing the certification assessment.
• Context Sensitive Solutions Implementation Plan , Rick Knapp (October 3, 2002). Attached is the Context Sensitive Solutions (CSS) Implementation Plan prepared by the CSS Steering Committee.
• Relocation Impact Document Survey Processes , Vernon V. Rhinehart (February 26, 2003). This memo clarifies the process for conducting surveys in preparation of Relocation Impact Documents.
• Clarification of Right of Entry Memo , Brice D. Paris and Gary R. Winters (January 7, 2003). This memo provides clarifying guidance and instructions to a memorandum entitled Right of Entry Guidelines for Environmental Work issued in May 22, 2002.
• Balanced Environmental Document Delivery , Brent Felker (January 2, 2003). Similar to the need to balance planned Ready To List (RTL) delivery (see attached memo), it is critical that you plan to deliver approximately 25 percent of the environmental documents (EIR or Negative Declaration and NEPA equivalents) each quarter during the fiscal year.
• State-Cost Utility Design Activities Prior to Environmental Approval , Brent Felker (July 24, 2002). This memo sets forth the process and prerequisites for a District/Region to request and obtain the necessary Headquarters written approval before ordering a utility company to commence utility design prior to the approval of the environmental document, when those activities involve State costs. These requirements also apply to Local Public Agency project.
• Right of Entry Guidelines for Environmental Work , Brice D. Paris and Gary R. Winters, (May 22, 2002) (153 KB). This memo supersedes the memorandum dated November 15, 1999, and sets forth the respective responsibilities of the divisions of Right of Way and Environmental Analysis in obtaining permission to enter property for the purposes of conducting field studies and surveys.
• Environmental Compliance for Best Interest Determinations (BID) During Construction , Gary R. Winters (April 25, 2002) (89 KB). All Best Interest Determinations (BID) must be forwarded to Budgets Office of Federal Resources with documentation to ensure that air quality conformity requirements have been met, the Right-of-Way Certification remains valid, NEPA requirements have been met and design standards have been met.
• Preliminary Environmental Analysis Report Handbook , Gary R. Winters (December 27, 2001)(53 KB). Memo distributing the PEAR Handbook, a required document for Project Study Report - Project Development Support (PSR-PDS) documents. The PEAR is recommended for all other PSRs
• Designated Disposal, Staging, and Borrow Sites Memo , Karla Sutliff (December 13, 2001). (182 KB). Caltrans and FHWA have determined that, on those projects which cannot accommodate the disposal, staging, or borrow material needs of the project, the District has the option to identify and clear designated sites, making them available for the contractor's use. Also refer to the Disposal Site Quality Team Final Report Concurrence memo (November 21, 2001) (112 KB) from FHWA Division Administrator Michael Ritchie to Caltrans Director Jeff Morales. See also the Disposal Site Quality Team Final Report .
• Revised Capital Project Milestones Standards , Mickey W. Horn and Gary R. Winters (December 11, 2001). Two new milestones have been added to the Caltrans Work Breakdown Structure (WBS), Notice of Preparation (NOP) for EIR documents under CEQA and Notice of Intent (NOI) for EIS documents under NEPA. (125 KB)
• "Begin Environmental" Memo , Brent Felker (November 28, 2001). Effective immediately, all new requests for environmental work will be accompanied by a number of required information items, as described in the Attachment 1 of this memo. (213 KB)
• Review of Encroachments memo , Kim Nystrom (Traffic Operations), Gary R. Winters (Environmental), Joan Sollenberger (Planning), (October 18, 2000), outlines permit application review for environmental issues, particularly in relation to Native American tribes. (915 KB)
• Change Control Implementation Memo , Brent Felker (July 28, 2000), recommends immediate change to the Project Delivery process to streamline delivery. (235 KB)

Biological Issues

(Also see: Mitigation/Environmental Commitments)

• Delegation of Biology-Related Non-Standard Special Provisions (NSSPs) - Review responsibilities for Biology-Related NSSPs have been temporarily delegated to select Districts as of July 1, 2006. See Memo , Attachment 1 and Attachment 2, MS Word (32 KB) PDF (13 KB) for further details.
• Requirements for assessing and remediating barriers to fish passage at stream crossings. Jay Norvell. (January 1, 2006). This memo sets requirements to address Senate Bill SB 857, enacted into law effective January 1, 2006, that amends Article 3.5 of the Streets and Highways Code, detailing requirements for assessing and remediating barriers to fish passage at stream crossings along the State Highway System.
• Guidance for Combined Essential Fish Habitat and Endangered Species Act Consultation Process , Gary R. Winters (September 20, 2004). This memo intends to further clarify the responsibilities of the Federal Highway Administration and the California Department of Transportation (Department) for the implementation of the combined Endangered Species Act (ESA) and Essential Fish Habitat (EFH) consultation process.
• Essential Fish Habitat Delegation Authority , Gary R. Winters (June 7, 2004). It announces the receipt of a letter received from the Federal Highway Administration (FHWA) on May 21, 2004 where it identifies the Department as its non-Federal representative to consult with the National Oceanic and Atmospheric Administration's National Marine Fisheries Service (NOAA-Fisheries) on Essential Fish Habitat issues (EFH). The FHWA letter describes also under which circumstances the Department will consult with NOAA-Fisheries on EFH.
• Standard Biological Assessment (BA), Biological Evaluation (BE), Natural Environmental Study (NES) and Natural Environmental Study (Minimal Impact) (NES(MI)) Outline and Templates and Quality Control Processes , Gary R. Winters (May 21, 2003). This memo announces the implementation of new BA, BE, NES and NES(MI) templates .
• Conducting Endangered Species Act Consultations with Services , Michael G. Ritchie (FHWA) (April 24, 2002) (238 KB). Delegation of authority for certain aspects of consultation for biological studies.
• FHWA Implementing Guidance on Invasive Species for Executive Order 13112 , Brian Smith (October 22, 1999). This memo announces FHWA guidance on Invasive Species. (1.84MB)

Historic Resources and Community Issues

(Also see: Mitigation/Environmental Commitments)

• 2007 Section 106 Programmatic Agreement Report, Jay Norvell (Sept 28, 2007). This memo transmits the 2007 PA Report.
• Section 106 Programmatic Agreement , Gary R. Winters (December 23, 2003). It announces that the Programmatic Agreement for Section 106 of the National Historic Preservation Act (PA) will go into effect on January 1, 2004.
• Native American Monitors , Gary R. Winters (November 4, 2003). This memo clarifies the current policy and expectations for Native American monitors on projects developed by Caltrans. An information sheet provides the history of the Department's practice of engaging Native Americans for archaeological and construction monitoring.

Noise Issues

Standardization of Noise Reports , Gary R. Winters (July 24, 2002). This memo requires that all noise technical studies follow the attached outline.

Hazardous Waste Issues

Stormwater Issues

Performance Measures

Environmental Certification Form - Revision to Track PLAP Performance Measure , Jay Norvell (November 21, 2006). This memo discusses the Program Level Action Plan (PLAP) that was published by the California Department of Transportation (Department) in 2006. This plan sets forth goals for the Department and contains objectives and performance measures for obtaining those goals.

Legislation

• California Environmental Legislation 2005 - 2006 Session, Kelly C. Dunlap (January 18, 2007). This memo discusses the impact of environmental bills they were signed into law in 2006 and potentially may affect the California Department of Transportation's (Department) work. A summary of these bills is provided as well as a list of environmental bills that will not directly affect the Department, but included for informational purposes.
• California Environmental Legislation 2005 - 2006 Session, Kelly C. Dunlap (January 18, 2007). This memo discusses the impact of environmental bills they were signed into law in 2006 and potentially may affect the California Department of Transportation's (Department) work. A summary of these bills is provided as well as a list of environmental bills that will not directly affect the Department, but included for informational purposes.
• California Environmental Legislation - 2003-2004 Session , Denise O'Connor (December 15, 2003). This memo discusses the bills signed in 2003 by then-Governor Gray Davis and affect the Division's work. Attached to this memo is a summary of the newly chaptered bills with web addresses where additional information can be found.
• Changes to CEQA and CEQA Guidelines , Denise O'Connor (December 12, 2002) is a summary of legislative and judicial changes to CEQA.

CTC

• Amended Regulations for Commission’s Role in Route Adoptions and New Public Road Connections , Gary R. Winters (November 4, 2004). This memo announces a new rulemaking that amends the Department's environmental regulations. The amendments clarify the role of the California Transportation Commission in cases where the Department or another public agency is the lead agency for the California Environmental Quality Act (CEQA).

Superseded policy memos (a separate file off the website)

• 2003 Programmatic Categorical Exclusion Agreement - Approval Authority of Local Assistance Projects , Gary R Winters (April 21, 2004). It clarifies the delegation of approval authority for projects located off the State Highway System (SHS) as well as the review and approval procedures. The memo intends to address questions that may have arisen since the announcement of the new 2003 Programmatic Categorical Exclusion (PCE) Agreement between DEA and the Federal Highway Administration's (FHWA) California Division.
• 2003 Programmatic Categorical Exclusion Agreement , Gary R Winters (November 19, 2003). This memo announces the new Programmatic Categorical Exclusion (PCE) agreement between FHWA and Caltrans that now supersedes and augments the existing September 1990 agreement. An instruction sheet for completing the CE/PCE exclusion form is posted.
• Revised EIS Review Procedures , Gary R. Winters (March 28, 2003). This memo incorporates changes made in the in EIS review process.
• EIS Review and Approval Procedures Memo , Gary Winters (November 29, 2001). (531 KB)
• Reaffirmation of Metric Policy , Brent Felker (September 27, 2002). All manuals, standards specifications, plans and other documents developed for use on the State Highway System shall use metric units only (i.e., no dual units) unless a metric exception has been granted. [Note: An exception for environmental documents allowing use of dual units has been requested.]
• Interim Policy for Buildings Constructed in 1957 or later - Amended June 14, 2002 , Greg King (117 KB). Caltrans staff who meet the Secretary of Interior Standards for architectural history are authorized to exclude from study buildings that were constructed in 1957 or later, or appear because of alterations to have been constructed in 1957 or later.
• Interim Report on the Section 106 Programmatic Agreement , Gary R. Winters (January 6, 2005). The DEA has released a new memo announcing the release of the interim report on the Department's statewide consistency review of the Programmatic Agreement for ection 106 of the National Historic Preservation Act (PA). The memo highlights the benefits achieved since the implementation of the PA and it briefly discusses the PA's quality assurance program implemented by the division's Cultural and Community Studies Office